FA News Articles

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IMCA Focusing On FAs For Growth

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IMCA is looking to independent advisors for growth while the association's traditional base -- wirehouse and regional broker-dealers -- declines.

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GAO: Double Dipping On Disability Leading to Riches For Some

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Double dipping on federal disability programs is proving very rewarding for a few.

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Great-West Financial Launches Empower

by FA Staff

The insurance firm has named its retirement business Empower reflecting a new era for plan sponsors.

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Legg Mason CEO Says Bond ‘Transition’ To Set Billions In Motion

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Legg Mason Inc.’s CEO said a “transition” of assets is under way in the bond industry, after the departure of Bill Gross from Pimco prompted investors to set billions of dollars in motion.

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American Realty Ex-CFO Forfeits $35 Million In Pay After Errors

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The former American Realty Capital Properties CFO, who resigned after the company found errors in its financial statements, is leaving behind a pay package worth $35 million.

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Independent Broker-Dealers Increased ETF Assets In Third Quarter

by FA Staff

Independent b-ds were the only financial advisory businesses to increase mutual fund and ETF assets under management in the third quarter despite the market downturn, says Broadridge Financial.

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How Financial Advisors Can Compete With The 'Robos'

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Advisors should remember that the current competitive threat is tiny, but can start to compete in a few ways.

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LPL Financial Shares Hurt On Uncertain Regulatory Outlook

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An early warning from LPL that unexpectedly high regulatory costs would hurt third-quarter earnings failed to placate investors on Thursday, as shares tumbled after the brokerage firm reported actual...

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SEC/Finra: Look Out Scamsters Peddling Stocks In Phony Shell Companies

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The SEC and Finra issued a joint alert for investors to watch out for scamsters peddling penny stocks of businesses that are companies in name only.

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How To Be Big

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Fidelity looks at how small firms become big -- without being drowned in overhead, partnership fights or the morass of tasks for which not every pro is suited.

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